Author Question: Which of the following are provisions of the Sarbanes-Oxley Act of 2002?I.an oversight board to ... (Read 121 times)

kaitlynndavis · **on:** Mar 29, 2022

Question 1

Which of the following acts abolished fixed commission schedules?
◦ Investment Advisers Act of 1940
◦ Investment Company Act of 1940
◦ Securities Acts Amendments of 1975
◦ Insider Trading and Fraud Act of 1988

Question 2

Which of the following are provisions of the Sarbanes-Oxley Act of 2002?

I.	an oversight board to monitor the accounting industry

II.	tougher penalties for executives who commit corporate fraud

III.	stricter prohibitions against insider trading

IV.	guidelines for analysts conflicts of interest

◦ II and IV only
◦ I, II and III only
◦ I and IV only
◦ I, II and IV only

Sha · **Reply #1 on:** Mar 29, 2022

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